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Conducting a Compliance Audit and Review

Wednesday, July 11th, 2018

10:00 am - 11:30 am CT

Length: 1 hr 30 min                    Sponsored by Credit Union Webinars

Click Here to register $195.00

Click Here to register and receive CD recording $295.00

A compliance audit is a comprehensive evaluation of a credit union's adherence to regulatory guidelines. Its purpose it to identify problems and weaknesses BEFORE they are detected by examiners, or even worse, members and members' attorneys.

This webinar will provide an overview of the tools and resources available for conducting a compliance review as well as areas to review and questions to ask.

Topics Will Include:

  • The Importance of Compliance Audit
  • Compliance Audit/Review Resources
  • Reviewing Policies, Procedures, and Practices
  • Reporting the Results of Your Review
  • Developing a Compliance Audit Schedule

Who Should Attend?

Compliance, operations, legal, and risk management staff, internal auditors, Chief Compliance Officers, and CEOs will benefit from attending this webinar.


Kristen Tatlock is a nationally-known speaker and compliance consultant with over 28 years of experience in the credit union compliance arena. Kristen assists credit unions with issues ranging from advertising rules to bylaws, from Social Media compliance matters to Regulation Z, and just about every regulation and compliance concern in between.

Kristen has earned Compliance and Bank Secrecy Act certifications from the two national credit union trade associations. She regularly presents compliance training programs for CUNA, NAFCU, and many state Leagues around the country. She has also edited and revised numerous compliance training courses and modules for CUNA CPD and has authored several articles for various CUNA publications.